DFX Intelligence
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Registered advisor
R••••• C•••• A••••••
Feed of 09/15/2026
Also filed as R••••• C•••• A••••••••• C• A••••••
At current firm
7 y
since Sep 28, 2018
In the industry
26 y
since Aug 7, 2000 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 28, 2018 · Boston, Ma
- W•••• F•••• A••••••• wirehouseAug 24, 2011 to Oct 10, 2018 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Aug 25, 2011 · Attleboro, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Oct 23, 2009 · New Bedford, Ma
- Q•••• • R•••••• I••• unclassifiedApr 1, 2004 to Oct 20, 2004 · Providence, Ri
- I••••• F•••••••• C••••••••• formerAug 6, 2002 to Apr 1, 2004 · New Bedford, Ma
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Oct 10, 2018, registered Sep 28, 2018 (-12 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Aug 25, 2011, registered Aug 24, 2011 (-1 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to Q•••• • R•••••• I•••left Apr 1, 2004, registered Apr 1, 2004 (0 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address